The University of North Carolina at Greensboro. Self-Study Report CHAPTER VI ADMINISTRATIVE PROCESSES

The University of North Carolina at Greensboro Self-Study Report 2000-2003 CHAPTER VI ADMINISTRATIVE PROCESSES 265

CONTENTS Administrative Processes Page LIST OF FIGURES... 269 LIST OF TABLES... 270 1. Introduction: Administrative Processes... 271 2. Organization and Administration (6.1)... 271 Descriptive Titles and Terms (6.1.1)... 272 Governing Board (6.1.2)... 274 Advisory Committees (6.1.3)... 277 Official Policies (6.1.4)... 277 Administrative Organization (6.1.5)... 279 Summary by Criteria... 282 Examination of Strengths, Weaknesses, Opportunities, and Threats... 285 3. Institutional Advancement (6.2)... 286 Alumni Affairs (6.2.1)... 286 Fundraising (6.2.2)... 287 Summary by Criteria... 288 Examination of Strengths, Weaknesses, Opportunities, and Threats... 288 4. Financial Resources (6.3.1)... 289 Organization for the Administration of Financial Resources (6.3.2)... 291 Budget Planning (6.3.3)... 291 Budget Control (6.3.4)... 295 The Relation of an Institution to External Budgetary Control (6.3.5)... 295 Accounting, Reporting and Auditing (6.3.6)... 296 Purchasing and Inventory Control (6.3.7)... 296 Refund Policy (6.3.8)... 296 Cashiering (6.3.9)... 297 Investment Management (6.3.10)... 297 Risk Management and Insurance (6.3.11)... 297 Auxiliary Enterprise (6.3.12)... 298 Summary by Criteria... 298 Examination of Strengths, Weaknesses, Opportunities, and Threats... 302 266 UNCG Institutional Self-Study 2000-2003

5. Physical Resources (6.4)...303 Space Management (6.4.1)...305 Buildings, Grounds and Equipment Maintenance (6.4.2)...306 Safety and Security (6.4.3)...307 Facilities Master Plan (6.4.4)...308 Summary by Criteria...308 Examination of Strengths, Weaknesses, Opportunities, and Threats...309 6. Externally Funded Grants and Contracts (6.5)...310 Summary by Criteria...313 Examination of Strengths, Weaknesses, Opportunities, and Threats...315 7. Related Corporate Entities (6.6)...315 Summary by Criteria...317 Examination of Strengths, Weaknesses, Opportunities, and Threats...318 8. Key Documents and Their Locations...318 UNCG Institutional Self-Study 2000-2003 267

LIST OF FIGURES Administrative Processes Page Figure 1. UNCG Organizational Chart... 273 268 UNCG Institutional Self-Study 2000-2003

LIST OF TABLES Administrative Processes Page Table 1. Current Funds Summary Excluding Foundations...290 Table 2. Construction Highlights...304 UNCG Institutional Self-Study 2000-2003 269

1. Introduction to Administrative Processes The University of North Carolina at Greensboro (UNCG) is one of the 16 constituent institutions of The University of North Carolina. As one of the constituent institutions, UNCG is under the auspices of The University of North Carolina s Board of Governors and President as well as its own Board of Trustees. UNCG further functions as a separately accredited Doctoral I institution. The powers and responsibilities of the administration and faculty at UNCG are outlined in The Code of the Board of Governors of The University of North Carolina, The Code of the Board of Trustees of The University of North Carolina at Greensboro, and UNCG s Handbook for Faculty. UNCG s system of governance is primarily administered by its Chancellor and Board of Trustees. UNCG s organizational structure is administered through five divisions: Academic Affairs, Business Affairs, Information Technology and Planning, Student Affairs, and University Advancement. The administration at UNCG meets its responsibility in bringing together its various resources and allocating them effectively in accomplishing its institutional goals as developed and contained in a 5-year plan. The latest version of this plan is The UNCG Plan 1998-2003. The allocation of resources and their administration is accomplished within a clear chain of organizational structure as illustrated by the UNCG Organizational Chart (see Figure 1). The administrative organization is designed to enhance the ability of each unit to perform its responsibilities effectively and in support of key elements of UNCG s Mission. UNCG s administrative team provides stable leadership and reflects a solid history of experience in higher education. UNCG expectations are that each office, function, or unit establishes goals derived from and supportive of UNCG s Mission, evaluates its success in achieving these goals, and uses the evaluation in making appropriate modifications in resources, programs, and services. UNCG s financial and physical resources currently are adequate to support its mission. However, the adequacy of the financial resources is being challenged by a difficult statewide economic downturn and the adequacy of its physical resources will be challenged by the growth in student population projected for UNCG by 2008. Plans, policies, and procedures are developed through a process characterized by broad participation of the UNCG community. The Faculty Senate, organized in 1991, has been increasingly involved in the development of policy. Staff Council, established more recently in 1998, has the potential for a similar level of involvement, although its role must be strengthened in order to realize the benefits of an increased participation of staff in University affairs and also improve their morale. These plans, policies, and procedures are in writing, approved through appropriate institutional processes, disseminated to affected parties generally in hard copy and on appropriate Web sites, implemented, and enforced. 2. Organization and Administration (6.1) In 1971, the North Carolina General Assembly adopted legislation that combined the 16 statesupported institutions of higher education into a single, multi-campus university, governed by the Board of Governors and administered by a President. This umbrella institution is known and 270 UNCG Institutional Self-Study 2000-2003

distinguished by the name, The University of North Carolina. As one of the constituent institutions of The University of North Carolina system, The University of North Carolina at Greensboro (UNCG) is under the auspices of the Board of Governors as well as its own Board of Trustees. The Board of Governors and the boards of trustees of the constituent institutions are granted authority outlined in the General Statues of the State of North Carolina and in The Code of the Board of Governors (hereafter known as The Code <www.northcarolina.edu/pres/publications/ publications.cfm#code>). The powers and duties of both the Board of Governors and the boards of trustees are delineated in The Code. The duties and powers of the Board of Trustees of UNCG are also described in The Code of the Board of Trustees of The University of North Carolina at Greensboro (hereafter known as The Code of the Board of Trustees) <http://www.uncg.edu/cha/university_ COUNSEL/POLICIES_PROCEDURES/BOTCode.html>). The powers and responsibilities of the administration and faculty at UNCG are outlined in The Code, The Code of the Board of Trustees and the UNCG Handbook for Faculty <http://shadow.uncg.edu/pvt/publications/faculty/index.html>. The administration at UNCG meets its responsibility in bringing together its various resources and allocating them effectively in accomplishing institutional goals under the auspices of The University s Board of Governors and President through a system of governance that is primarily administered by the Chancellor and the Board of Trustees. The institutional goals are contained in The UNCG Plan 1998-2003 <www.uncg.edu/cha/uncgplan.htm>. The allocation of resources and their administration is accomplished within a clear chain of organizational structure as illustrated by the UNCG Organizational Chart (Figure 1) <www.uncg.edu/apl/org_charts.html>. UNCG s organizational structure is presented on the following pages. It also is described in detail in Section II of the Handbook for Faculty. As indicated, UNCG s organizational structure is administered through five divisions: Academic Affairs, Business Affairs, Information Technology and Planning, Student Affairs, and University Advancement. The administrative organization is designed to enhance the ability of each unit to perform its responsibilities effectively and in support of key elements of the mission of the institution. The administrative team at UNCG provides stable leadership and reflects a solid history of experience in higher education. Financial resources and physical resources are carefully managed and leveraged to provide an environment conducive to maximize learning, teaching, and research, even during times of severe budgetary constraints such as the state economic downturn currently being experienced. Descriptive Titles and Terms (6.1.1) The Code establishes the official name of the single, multi-campus university as The University of North Carolina. The Code also establishes that this institution, The University of North Carolina at Greensboro, is a constituent member of The University of North Carolina. Further confirmation of the name of the institution as an accurate descriptor can be found in The Code of the Board of Trustees, the Handbook for Faculty, The Graduate School Bulletin <www.uncg.edu/grs/ bulletin.html> and the Undergraduate Bulletin <www.uncg.edu/reg/catalog>. The University of North Carolina at Greensboro thus functions as a component institution of The University of North Carolina. It further functions as a separately accredited Doctoral I institution. UNCG Institutional Self-Study 2000-2003 271

Figure 1. UNCG Organizational Chart <http://www.uncg.edu/apl/org_charts.html> 272 UNCG Institutional Self-Study 2000-2003

For a university of this size, the titles of UNCG s chief administrators and descriptions of their respective divisions and responsibilities are appropriate for supporting the mission and scope of the academic programs. The Code of the Board of Trustees outlines the authority of the Chancellor and her relation to the Board of Trustees. In addition, Section II of the Handbook for Faculty describes UNCG s administrative organization including the titles, responsibilities, and reporting areas of its officers. Additional representation of titles and designations is provided in the UNCG organizational chart (see Figure 1). The terms used to describe academic offerings and programs as well as the names of degrees awarded are accurate, descriptive, and appropriate. The Graduate School Bulletin and the Undergraduate Bulletin are the campus publications that describe the academic programs and courses. These publications also specify the names of degrees awarded at UNCG. These bulletins are reviewed and updated annually by all appropriate units. Governing Board (6.1.2) The North Carolina Constitution, Article IX, Section VIII, provides for a public system of higher education comprising The University of North Carolina that shall be maintained by North Carolina s General Assembly. In 1971, the General Assembly adopted legislation that combined the 16 state-supported institutions of higher education into a single University of North Carolina system governed by the Board of Governors and administered by the President. Each constituent institution has a separate board of trustees and is administered by a chancellor. The Board of Governors is designated as the governing board of The University of North Carolina in the North Carolina General Statutes, G.S.116.3 <www.ncga.state.nc.us/statutes/ statutes_in_html/chp1160.html>. The Board of Governors is responsible for the general determination, control, supervision, management, and governance of all affairs of the constituent institutions. The duties of the Board of Governors are outlined in the North Carolina General Statutes G.S. 116-11-116-(14) and in The Code. As outlined by the General Statutes and The Code, there are specific voting requirements for the enactment of Board of Governors business that restrict the ability of individual members acting for the whole. The Code restricts individual members from acting for the whole by clearly defining a quorum for the conduct of business. Thirty-two members of the Board of Governors are elected by the General Assembly on a staggered basis for four-year terms. The Code specifies the terms of office and describes the rotation policies, committee structure of the Board of Governors, and the parameters for the conduct and frequency of meetings. All members of the Board of Governors serve at-large and are responsible for acting in the best interest of the University. The general statutes outline the duties of the Board of Governors. Included in the designated duties are the powers to establish broad institutional policies, budgetary and fiduciary responsibilities, as well as the selection of the chief executive officer. The Board of Governors, in consultation with the Office of the President, develops, prepares, and presents a unified budget for the University to the Governor, Advisory Budget Commission, and to the General Assembly. The Board of Governors has the authority to issue revenue bonds with respect to construction and maintenance of service and auxiliary facilities, student housing, student activities, student athletics, and recreational facilities. UNCG Institutional Self-Study 2000-2003 273

The Board of Governors selects the President of the University. In addition, the Board of Governors elects, upon nomination by the President of the University, each chancellor of the sixteen constituent institutions. Each constituent campus has a board of trustees as designated by North Carolina General Statute [116-31(I )] and outlined in The Code. The Board of Trustees of the University of North Carolina at Greensboro is also described in The Code of the Board of Trustees. On each campus, the board of trustees is charged with promoting the sound development of its institution within the functions prescribed for it, and by serving the people of the state in a way that will complement the activities of other institutions while facilitating a high level of excellence in every area of endeavor. The board of trustees serves as an advisory body to the Board of Governors on matters pertaining to its particular institution. Also, the board of trustees advises the chancellor concerning the management and development of the institution. The duties and responsibilities of UNCG s Board of Trustees are clearly outlined in the North Carolina General Statues, The Code, and The Code of the Board of Trustees. Included in these documents are specific stipulations related to the number of members serving on the Board of Trustees at any given time, length of service, and rotation policies designed to assure the appropriate continuity of Board membership. In addition, organization and committee structure are clearly defined as well as the specified frequency of meetings. Also identified in The Code of the Board of Trustees are specific voting requirements for the enactment of Board business that restrict the ability of individual members from acting for the whole. Mandated in the General Statutes and further delineated in The Code, membership of the Board of Trustees is to be composed of 13 persons chosen as follows: (i) eight elected by the Board of Governors, (ii) four appointed by the Governor, and (iii) the president of the student government, ex officio. In order to assure continuity of board membership, members serve staggered four-year terms. Appendix 1 of The Code outlines the powers and responsibilities of the Board of Trustees as follows: DELEGATIONS OF DUTY AND AUTHORITY TO BOARDS OF TRUSTEES Pursuant to authority vested in it by the General Statutes, and consistent with the Provisions of The Code of the University of North Carolina, the Board of Governors hereby delegates to the Boards of Trustees of the constituent institutions of The University of North Carolina the following duties and powers: I. ACADEMIC AND ADMINISTRATIVE PERSONNEL a. Appointment and Compensation b. Discharge and Suspension c. Personnel Policies d. Chancellor Selection II. ACADEMIC PROGRAM The Board of Trustees shall be responsible for insuring the institution s compliance with the educational, research, and public service roles assigned to it by the Board of Governors, either by express directive or by promulgated long-range plans of the Board of Governors. III. ACADEMIC DEGREES AND GRADING IV. HONORARY DEGREES, AWARDS, AND DISTINCTIONS 274 UNCG Institutional Self-Study 2000-2003

V. BUDGET ADMINISTRATION VI. PROPERTY AND BUILDINGS VII. ENDOWMENTS AND TRUST FUNDS VIII. ADMISSIONS IX. TUITION, FEES, AND DEPOSITS a. General Authority of Boards of Trustees to collect tuition b. Tuition and Fee Deposits c. Application Fee d. Acceptance of Obligations in Lieu of Cash e. Fee Recommendations X. STUDENT FINANCIAL AID XI. STUDENT SERVICES XII. STUDENT CONDUCT, ACTIVITIES, AND GOVERNMENT XIII. INTERCOLLEGIATE ATHLETICS XIV. TRAFFIC AND PARKING REGULATIONS XV. CAMPUS SECURITY XVI. AUXILIARY ENTERPRISES, UTILITIES, AND MISCELLANEOUS FACILITIES. The Board of Governors and the UNCG Board of Trustees are well informed of the financial condition of the institution. The Office of the President prepares and submits to the Board of Governors an annual report to correspond with the fiscal year of the University. The UNCG Board of Trustees receives periodic reports from UNCG administrative offices. The Vice Chancellor for Business Affairs has the responsibility of managing the University s financial affairs and reporting to members of the executive staff and the Board of Trustees. A financial audit, prepared by the Office of the State Auditor, is required under North Carolina law. Members of the Board of Trustees review a copy of this audit that scrutinizes the financial stability of the institution. The audit report is filed with the Office of the Governor, the State Controller s Office, the State Budget Office, the Office of the President of the University, and appropriate federal agencies. Copies of UNCG s audit reports are found in the Office of Business Affairs. The Code addresses the relation of the President and the Chancellor to the governing boards. Both the President and chancellors are required to provide the governing boards with detailed reports on institutional operations as well as other reports that may be requested. There is no evidence that the Board of Governors or the UNCG Board of Trustees is under undue pressure from political, religious, or other external bodies. The Code specifically states that no member of the General Assembly nor employee of the state nor of any constituent institution nor spouse of any such member, officer, or employee shall be eligible for election or appointment as a member of either body. Any member of either board who is elected or appointed to the General Assembly, or who becomes an officer or employee of the state or of any constituent institution, or whose spouse is elected or appointed to the General Assembly, or becomes such an officer or employee, shall be deemed thereupon to resign from board membership. UNCG Institutional Self-Study 2000-2003 275

Members of the Board of Governors, Board of Trustees, and the administration are subject to The University Policy on Ethics and Conflicts of Interest <http://www.ga.unc.edu/publications/ admin_manual/>. Reasons for potential removal from office and the due process involved before removal from office are outlined in the policy. The Code, reflecting the general statutes of North Carolina, clearly distinguishes between the policy-making functions of the Board of Governors and the boards of trustees at constituent institutions. In addition, the responsibility of the administration as well as faculty to administer and implement policy is clearly delineated in The Code as well as The Code of the Board of Trustees. These responsibilities are incorporated in the Handbook for Faculty. Advisory Committees (6.1.3) To enhance the development of programs and procedures, a number of advisory committees are in place at UNCG: The Joseph M. Bryan School of Business and Economics Advisory Board School of Education Advisory Board School of Nursing Advisory Board School of Music Advisory Board The UNCG Board of Visitors Friends of the Library Advisory Committee on Intercollegiate Athletics UNCG Theatre Angels Musical Arts Guild Science Advisory Board Center for the Study of Social Issues Advisory Board Hospitality Management Advisory Board Institute for Health, Science, and Society Advisory Board Textile Products Design and Marketing Industry Advisory Board Friends of Women s Studies Lay committees across campus are active, meet regularly, and have roles that are welldefined. Official Policies (6.1.4) The University of North Carolina, UNCG, and the State of North Carolina each publish a number of official documents which include, but are not limited to, the following information: the duties and responsibilities of administrative officers, the patterns of institutional organization, the role of the faculty in institutional governance, statements governing tenure and employment security, statements governing due process, and a wide range of institutional policies and procedures that affect the faculty and staff. Institutional policies and procedures are available on the Provost s Web site <http://shadow.uncg.edu/pvt/publications/index1.asp>. Policies and procedures relate to faculty, EPA (non-faculty), SPA personnel, and academic policies and publications. These policies and procedures include the following: 276 UNCG Institutional Self-Study 2000-2003

Faculty Personnel Documents: Handbook for Faculty <http://shadow.uncg.edu/pvt/publications/faculty/index.html> Faculty Policies <http://shadow.uncg.edu/pvt/publications/policies_faculty.html>: Appointment and Compensation Policies Benefits and Leave Policies Conflicts of Interest and Commitment Policies Equal Opportunity and Affirmative Action Policies Excellence, Titled, and Visiting Distinguished Professorship Policies Faculty Evaluation and Review Policies Policies Concerning Grievances and Review of Employment Decisions Phased Retirement Program Policies Political Activities Policies Promotion and Tenure Policies Research Policies Other University Policies Research Assignments EPA (Non-faculty) Personnel Documents: EPA Policies <http://shadow.uncg.edu/pvt/publications/policies_epa.html>: Appointment and Compensation Policies Benefits and Leave Policies Conflicts of Interest and Commitment Policies Equal Opportunity and Affirmative Action Policies General Provisions of EPA (Non-faculty) Employment Policies Policies Concerning Grievances and Review of Employment Decisions Political Activities Policies Other University Policies SPA Personnel Documents: Policy Manual for Staff Employees <www.uncg.edu/hrs/policy/tablecon.htm> Academic Policies and Publications: <http://shadow.uncg.edu/pvt/publications/academic.html>: Academic Integrity Policy Administrative Guidelines for Creation of Academic Departments and Appointment of Department Heads Charge, Policies, and Practices of the Graduate Studies Committee Curriculum Guide (University) Family Educational Rights and Privacy Act ( Buckley Amendment) Instructional Agreements: Revised Procedures for Developing Academic Degree Programs (Administrative Memorandum 406) < www.northcarolina.edu/aa/reports/plan_intent/doc_index.cfm> Student Access to Educational Records <www.uncg.edu/reg/policy/ferpa/studentrecords.html University Calendar <www.uncg.edu/reg/calendar/index.html> UNCG Institutional Self-Study 2000-2003 277

Administrative Organization (6.1.5) The administrative organization of UNCG is designed to enhance the ability of each unit to perform its responsibilities effectively. It reflects the key elements of the mission of the institution which are teaching based in scholarship, advancing knowledge through research, and providing exemplary learning environments as well as co-curricular and residential programs which contribute to students social, aesthetic, and ethical development. The titles of UNCG s chief administrators and descriptions of their respective divisions and responsibilities are appropriate to support the mission and scope of the academic programs of a university of this size. The Code of the Board of Trustees outlines the authority of the Chancellor and her relation to the Board of Trustees. In addition, Section II of the Handbook for Faculty describes UNCG s administrative organization including the titles, responsibilities, and reporting areas of its officers. Additional representation of titles and designations are accurately presented in the UNCG Organizational Chart. These materials and others such as The Graduate School Bulletin and Undergraduate Bulletin that describe the duties of the chief executive officers and other administrative officials are readily available in a variety of forms, including on-line, to faculty, staff and students. UNCG Executive Staff The Chancellor, Provost, Vice Chancellors, Executive Assistant to the Chancellor, University Counsel, and Director of Athletics compose the membership of the Chancellor s Executive Staff. Each of UNCG s administrative officers possesses the credentials, experience, and demonstrated competence appropriate to his or her area of responsibility. The Executive Staff meets weekly and serves the Chancellor in an advisory capacity. UNCG Chief Administrators Chancellor The Board of Governors elects the Chancellor of each constituent institution upon nomination by the President. The Chancellor serves at the pleasure of the Board of Governors, as does the President. The Chancellor is the administrative and executive head of the institution and is responsible to the President for its administration and for the enforcement of the decisions, actions, policies, and regulations of the Board of Governors that apply. The Chancellor is responsible to the Board of Trustees for enforcing its policies, rules, and regulations (subject to the overriding authority of the Board of Governors and that of the President as its agent). The Chancellor is the leader of, and the official spokesperson for, the institution. The Chancellor serves as the medium of official communication between the Board of Trustees and all others, and between the University, the President, and the Board of Governors. The Chancellor promotes the educational excellence, general development, and welfare of the institution, makes recommendations for the development of the educational programs of the institution, and serves as general advisor to the President (and through the President to the Board of Governors) with respect to all programs and activities of the institution. The Chancellor defines the scope of authority of faculties, councils, committees, and officers of the institution. All projects, programs, and institutional reports to be undertaken on behalf of the institution are subject to the Chancellor's authorization and approval. The Chancellor is a member of 278 UNCG Institutional Self-Study 2000-2003

all faculty and other academic bodies of the institution and has the right to preside over the deliberations of any legislative bodies of the faculties of the institution. The Chancellor is responsible for establishing a faculty senate, a majority of whose members are elected by and from the members of the faculty. Subject to any policies or regulations of both the Board of Governors and the Board of Trustees, it is the duty of the Chancellor to exercise full authority in the regulation of student affairs and in matters of student discipline in the institution. UNCG is organized into five major functional areas, one administered by a provost and four administered by vice chancellors, each of whom is responsible to the Chancellor. Following a national search, the Board of Governors, upon the recommendation of the Chancellor to the President, appoints and fixes the compensation of the Provost and Vice Chancellors, as provided for under The Code. The administrators of the five functional areas are the Provost for the Academic Affairs Division, the Vice Chancellor for Business Affairs, the Vice Chancellor for Information Technology and Planning, the Vice Chancellor for Student Affairs, and the Vice Chancellor for University Advancement. Each of these major administrative officers possesses credentials, experience, and/or demonstrated expertise appropriate to their area of responsibility. The credentials and transcripts of the senior administrative officers are located in the Provost s Office. Provost The Provost, the principal academic officer under the Chancellor, provides academic and administrative leadership in all matters of curriculum and program development, the advancement of teaching, and the support of research and other scholarly and creative work in the academic community. The Provost is responsible for the formulation of the annual and biennial budget requests, the allocation of resources for academic programs and services, and planning among the academic divisions of the University. Through the deans, the Provost has direct authority over the College of Arts and Sciences, each of the six professional schools, The Graduate School, and the Division of Continual Learning. The University Librarian and the Weatherspoon Art Museum are also responsible to the Provost. The Provost is also responsible for all academic support units and those services for students that relate to their academic programs, curriculum requirements, and special opportunities. Academic and student support units are supervised by the associate provosts, under the direction of the Provost. Subject to the policies and procedures of the University, the Provost is responsible for the review and approval of all academic programs and policies and has authority in all matters pertaining to the appointment, promotion, and compensation of faculty and professional personnel in the academic divisions of the University. In matters of academic and personnel policy, the Provost receives advice from the deans and the appropriate agencies of University governance. The Provost recommends faculty and academic administrative appointments to the Chancellor and advises the Chancellor on promotion and tenure of faculty. Further, the Office of the Provost handles personnel policy development and administration for all faculty and for other employees exempt from the State Personnel Act (EPA non-faculty). Involvement with the faculty occurs through consultation, enhancement of faculty participation in University affairs, coordination of the faculty governance system, and support for faculty development. Faculty members use the many services available through the Office of the Provost and have access to the Provost for advice and counsel as needed. UNCG Institutional Self-Study 2000-2003 279

The Provost provides support for faculty governance through a special office for this purpose and works closely with the officers of the Faculty Senate. The Provost signs institutional documents and takes other actions as may be needed in the Chancellor's absence. Vice Chancellor for Business Affairs The Vice Chancellor for Business Affairs is responsible for the management of fiscal activities of the University, all real and personal property, campus security, the maintenance and operation of all physical facilities (including physical planning and construction), business services, auxiliaries, and administration of human resource services. Individuals reporting to the Vice Chancellor for Business Affairs include the Associate Vice Chancellor for Finance, the Associate Vice Chancellor for Facilities, the Associate Vice Chancellor for Human Resource Services, the Director of Public Safety and Police, the Senior Director for Foundation Finance and University Real Property Management, the Directors of Business Services and Auxiliary Services, and the Internal Auditor. Vice Chancellor for Information Technology and Planning The Vice Chancellor for Information Technology and Planning provides leadership and policy development for all areas of information technology. These include all administrative computing, instructional and research computing and technology, technology-based distance learning, database and information systems, office automation, systems programming, data/video/voice networks, and telephone services. The Vice Chancellor for Information Technology and Planning also provides leadership for all institutional planning. This includes leadership (on behalf of the Chancellor) of the University Planning Council and Council committees, coordination of other institutional planning efforts, and responsibility for all institutional planning documents submitted to UNC General Administration and other external bodies. The Vice Chancellor for Information Technology and Planning has management responsibility for institutional research, authority for space utilization, and responsibility for coordination of records management. Reporting directly to the Vice Chancellor for Information Technology and Planning are the Associate Vice Chancellor for Information Technology, the Associate Vice Chancellor for Institutional Planning and Research, and the Director of Telecommunications. Vice Chancellor for Student Affairs The Vice Chancellor for Student Affairs is responsible for the general welfare of the students, the quality of student life, and the availability of meaningful experiences through co-curricular activities. Areas of responsibility include adult student services, campus recreation, career services, disability services, housing and residence life, multicultural affairs, orientation services, research and evaluation, student discipline/academic integrity violations, student health and counseling, and student union/student activities. Reporting directly to the Vice Chancellor for Student Affairs are two associate vice chancellors, the Assistant to the Vice Chancellor for Student Affairs for Research and Evaluation, and the Director of Housing and Residence Life. 280 UNCG Institutional Self-Study 2000-2003

Vice Chancellor for University Advancement As the external affairs officer of the University, the Vice Chancellor for University Advancement is responsible for coordinating and promoting activities that advance public understanding of the University and for obtaining private financial support for the University. Generally, University Advancement serves as a clearing point for all efforts to raise funds for the University. This Office is responsible for creating, developing, and implementing efficient and effective solicitation programs to maximize the gift potential of individual donors as well as lend support to the University's stated mission. The Advancement Office carries out fund raising on a coordinated basis. This process includes solicitations from alumni, community members, business entities, and foundations. Both outright gifts as well as gifts in the form of charitable trusts, annuities, life insurance, and bequests are sought. Reporting directly to the Vice Chancellor for University Advancement are the Associate Vice Chancellor for Development, the Assistant Vice Chancellor for Development (Planned Giving and Annual Programs), and the Assistant Vice Chancellor for University Relations. The directors of Advancement Services, Alumni Affairs, and the Spartan Club also report to the Vice Chancellor. All senior administrators, including the Chancellor, undergo annual reviews. On March 12, 1998, the Board of Governors adopted a document entitled, Policy and Procedures for the Performance Reviews of the President, Chancellors, and the Governing Boards. As part of the general assessment process each fall, chancellors individually review with the President their major campus goals and priorities, and progress in achieving such goals/priorities. The chancellors also produce a brief summary of their goals including a self-evaluation. The President of the University annually evaluates each chancellor. Chancellor Sullivan s last comprehensive review was in 1998. Another evaluation of the Chancellor is scheduled for 2002. On June 11, 2001, the above noted Policy was revised to include the following statement: In the fourth spring after the chancellor s appointment, and every four years thereafter, the President and the Board of Trustees will conduct a comprehensive review of the chancellor s performance that will include major campus constituencies such as faculty, students, and staff. The campus evaluation process for the Provost also included a survey of faculty and Academic Affairs staff in Spring 1999. This survey, which was developed by a Faculty Senate committee, will be administered in 2003 and thereafter on a four-year cycle. Developing similar evaluations for the Vice Chancellors is under discussion. Each year, normally during the summer, each member of the executive staff meets with the chancellor to review progress made toward goals outlined the previous year. Each staff member completes a self-evaluation, including goals for the coming year. In addition, the Chancellor completes a comprehensive evaluation form and reviews it with each member of the executive staff. Summary by Criteria (6.1, p. 66, ll. 1-4) The administration at UNCG meets its responsibility in bringing together its various resources and allocating them effectively in accomplishing institutional goals under the auspices of the University s Board of Governors and President through a system of governance that is primarily administered by the Chancellor and the Board of Trustees. The institutional goals are contained in The UNCG Plan. UNCG Institutional Self-Study 2000-2003 281

(6.1.1, p. 66, ll. 9-13) The name of the institution, the titles of chief administrators, the designation of administrative and academic divisions, the terms used to describe academic offerings and programs, and the names of degrees awarded are accurate, descriptive, and appropriate. (6.1.2, p. 66, ll. 14-16) The Board of Governors is designated as the governing board of The University of North Carolina in the North Carolina General Statutes, G.S.116.3. The Board of Governors is responsible for the general determination, control, supervision, management, and governance of all affairs of the constituent institutions. Each constituent campus has a Board of Trustees as designated by North Carolina General Statute (116-31(i)) and outlined in both The Code of the Board of Governors and The Code of the Board of Trustees. (6.1.2, p. 66, ll. 22-25) As outlined by the General Statutes and The Code, there are specific voting requirements for the enactment of Board business that restrict the ability of individual members acting for the whole. The Code restricts individual members from acting for the whole by clearly defining quorum for the conduct of business. The Code of the Board of Trustees outlines the specific voting requirements for enactment of business by the UNCG Board of Trustees that restrict the ability of individual members acting for the whole. (6.1.2, p. 66, ll. 26-31) The duties of the Board of Governors are outlined in the North Carolina General Statutes G.S. 116-11-116-(14) and in The Code. The Code specifies the number of members and their terms of office, and describes the rotation policies, committee structures of the Board of Governors, and the parameters for the conduct and frequency of meetings. The duties and responsibilities of the Board of Trustees are clearly outlined in the North Carolina General Statues, The Code, and The Code of the Board of Trustees. Included in these documents are specifics related to the number of members serving on the Board of Trustees at any given time, length of service, and rotation policies designed to assure the appropriate continuity of Board membership. In addition, organization and committee structure are clearly defined as well as the specified frequency of meetings. (6.1.2, p. 66, ll. 31-33) Thirty-two members of the Board of Governors are elected by the General Assembly on a staggered basis for four-year terms. Mandated in the General Statutes and further delineated in The Code, membership of the Board of Trustees is to be composed of 13 persons chosen as follows: (i) eight elected by the Board of Governors, (ii) four appointed by the Governor, and (iii) the president of the student government, ex officio. In order to assure continuity of board membership, members serve staggered four-year terms. (6.1.2, p.67, ll. 2-3) Members of the Board of Governors, Board of Trustees, and the administration are subject to The University Policy on Ethics and Conflicts of Interest. Reasons for potential removal from office and the due process involved before removal from office are outlined in the policy. The Code outlines further restrictions of dual membership for both members of the Board of Governors and Board of Trustees that may place them in positions of conflicting interest in serving the University System or UNCG. 282 UNCG Institutional Self-Study 2000-2003

(6.1.2, p. 67, ll. 4-8) The General Statutes and The Code outline the duties of the Board of Governors. Included in the designated duties are the powers to establish broad institutional policies, budgetary and fiduciary responsibilities, as well as the selection of the chief executive officer. In addition, the Board of Governors elects, upon nomination by the President of the University, each chancellor of the sixteen constituent institutions. The Code and The Code of the Board of Trustees outline the duties of the Board of Trustees. The Board of Trustees is charged with promoting the sound development of the institution within the functions prescribed for it, helping it to serve the people of the state in a way that will complement the activities of other institutions, and aiding it to perform at a high level of excellence in every area of endeavor. The Board of Trustees serves as an advisory body to the Board of Governors on matters pertaining to UNCG and also as advisor to the Chancellor concerning the management and development of the institution. (6.1.2, p. 67, ll. 8-11) The Board of Governors has proper procedures in place to ensure that it is adequately informed about the financial condition and stability of the University. In addition to preparing the budget for the General Assembly in consultation with the Office of the President, the Board receives regular audit reports from the Office of the President, which include summaries of a wide-ranging number of audit reports from constituent universities. (6.1.2, p. 67, ll. 11-13) There is no evidence that either members of the Board of Governors or the UNCG Board of Trustees are under undue pressure from political, religious, or other external bodies. (6.1.2, p. 67, ll. 15-18) The Code, reflecting the general statutes of North Carolina, clearly distinguishes between the policy-making functions of the Board of Governors and the Boards of Trustees at constituent institutions. In addition, the responsibility of the administration as well as faculty to administer and implement policy is clearly delineated in The Code as well as in The Code of the Board of Trustees. These responsibilities are incorporated in the Handbook for Faculty. The Board of Trustees exercises its role to originate general institutional policies as well as to approve policies recommended by the administration according to the authority outlined in The Code and The Code of the Board of Trustees. (6.1.4, p. 67, ll. 28-35) The University of North Carolina, UNCG, and the State of North Carolina publish a number of official documents which include, but are not limited to, the following information: the duties and responsibilities of administrative officers, the patterns of institutional organization, the role of the faculty in institutional governance, statements governing tenure or employment security, statements governing due process, and a wide range of institutional policies and procedures that affect the faculty and staff. (6.1.5, p. 68, ll. 1-4) The administrative organization of UNCG reflects the key elements of the Mission of the University. It is designed to enhance the ability of each unit to perform its responsibilities effectively. (6.1.5, p. 68, ll. 5-9) The titles of UNCG s chief administrators and descriptions of their respective divisions and responsibilities are appropriate to support the mission and scope of the academic UNCG Institutional Self-Study 2000-2003 283

programs of a university of its size. The Code of the Board of Trustees outlines the authority of the Chancellor and her relation to the Board of Trustees. In addition, Section II of The Handbook for Faculty describes UNCG s administrative organization including the titles, responsibilities, and reporting areas of its officers. Additional representation of titles and designations are accurately described in the UNCG Organizational Chart. (6.1.5, p. 68, ll. 10-13) The duties of the Chancellor and administrative officers directly responsible to the Chancellor are clearly defined and communicated to the faculty and staff. (6.1.5, p. 68, ll. 13-15) All major administrative officers possess credentials, experience, and/or demonstrated expertise appropriate to their areas of responsibility. The credentials and transcripts of the senior administrative officers are located in the Provost s Office. (6.1.5, p. 68, ll. 15-17) All senior administrators, including the Chancellor, undergo annual reviews. The President of the University evaluates the Chancellor annually. Each year, normally during the summer, each member of the executive staff meets with the chancellor to review progress made toward goals outlined the previous year. Each staff member completes a self-evaluation and sets goals for the coming year. In addition, the Chancellor completes a comprehensive evaluation form and reviews it with each member of the executive staff. Examination of Strengths, Weaknesses, Opportunities, and Threats Strengths Careful, deliberative processes under the auspices of The UNCG Plan have guided administrative decisions. Weaknesses Unlike the Chancellor and the Provost, the Vice Chancellors are not evaluated by their staffs as a part of their normal review processes. (See Proposal 13) Better definition of the role of the relatively new Staff Council as it relates to University committees and governance could potentially increase the involvement and morale of staff. (See Proposal 29) Opportunities None noted. Threats Worsening statewide economic conditions as well as actual and proposed cuts in state appropriations are placing significant constraints on the University at the same time that enrollment demands are increasing. 284 UNCG Institutional Self-Study 2000-2003

3. Institutional Advancement (6.2) UNCG has a comprehensive program of institutional (University) Advancement directed by the Vice Chancellor for University Advancement with the oversight of the Chancellor. University Advancement is divided into four departments: Alumni Affairs, Development, University Relations, and Advancement Services. The administrators of the functional areas are the Associate Vice Chancellor for Development, the Assistant Vice Chancellor for Development, the Director of the Annual Fund, the Director for Alumni Affairs, the Director for Advancement Services, the Assistant Vice Chancellor for University Relations, and the Director for University News Service. Each of these administrative officers possesses credentials, experience, and /or demonstrated expertise appropriate to his or her area of responsibility. The credentials and transcripts of administrative officers are located in the offices of the Vice Chancellor for University Advancement. The University Advancement program supports University priorities as defined by the UNCG Plan, seeking to increase private contributions in support of programs at UNCG. Specific areas of focus are proposed each year by the administrative offices based on annual program reviews, department/school meetings, and strategic goals and objectives. Fundraising initiatives are based on an annual needs assessment conducted with the input of the Provost, each vice chancellor, and the dean or director of each college, school, or other academic unit, and identifying priorities for one and five-year periods. Between July 1, 1992, and June 30, 2002, the endowment assets held for the benefit of UNCG grew from $32,175,686 to $112,522,901. The Vice Chancellor for University Advancement reports directly to the Chancellor and acts as liaison between the University and the UNCG Alumni Association, and between the University and three affiliated foundations: The UNCG Excellence Foundation, the Weatherspoon Arts Foundation, and the Human Environmental Science Foundation. The Vice Chancellor meets weekly with the Chancellor and serves on the Chancellor s Executive Staff. During these meetings, advancement issues are reviewed and discussed. Senior staff representing the offices of Alumni Affairs, Development, University Relations, and Advancement Services meet twice each month to review activities and strategies that facilitate and support collaborative university-wide efforts in fundraising and alumni activities. Alumni Affairs (6.2.1) The Director of Alumni Affairs is responsible for the development and implementation of activities designed to expand and enhance alumni programs and services and increase alumni participation. The Alumni Affairs Office maintains contact with approximately 65,000 alumni. The Office of Institutional Research also conducts periodic surveys of alumni. A schedule of recently conducted and proposed surveys of alumni may be viewed at the Office of Institutional Research s Web site, <http://ire.uncg.edu/pages/surveys/survey_schedule.htm>. An important purpose of these surveys is to involve alumni in the evaluation of UNCG s institutional effectiveness. The Director of Alumni Affairs acts as a facilitator for the UNCG Alumni Association. The Association promotes the general educational interests of the institution as well as the fellowship and understanding of its members. The Board of Directors of the Alumni Association meets at least four times per year to review progress and develop strategies in support of its strategic plan. UNCG Institutional Self-Study 2000-2003 285